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2 Report Documentation Page Form Approved OMB No Public reporting burden for the collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington VA Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to a penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. 1. REPORT DATE 27 SEP TITLE AND SUBTITLE Evaluation of DoD Accident Reporting 2. REPORT TYPE 3. DATES COVERED to a. CONTRACT NUMBER 5b. GRANT NUMBER 5c. PROGRAM ELEMENT NUMBER 6. AUTHOR(S) 5d. PROJECT NUMBER 5e. TASK NUMBER 5f. WORK UNIT NUMBER 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) Department of Defense Office of Inspector General,400 Army Navy Drive,Arlington,VA, PERFORMING ORGANIZATION REPORT NUMBER 9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSOR/MONITOR S ACRONYM(S) 12. DISTRIBUTION/AVAILABILITY STATEMENT Approved for public release; distribution unlimited 13. SUPPLEMENTARY NOTES 14. ABSTRACT 11. SPONSOR/MONITOR S REPORT NUMBER(S) 15. SUBJECT TERMS 16. SECURITY CLASSIFICATION OF: 17. LIMITATION OF ABSTRACT a. REPORT unclassified b. ABSTRACT unclassified c. THIS PAGE unclassified Same as Report (SAR) 18. NUMBER OF PAGES 50 19a. NAME OF RESPONSIBLE PERSON Standard Form 298 (Rev. 8-98) Prescribed by ANSI Std Z39-18

3 Inspector General United States Department of Defense Vision One professional team strengthening the integrity, efficiency, and effectiveness of the Department of Defense programs and operations. Mission Promote integrity, accountability, and improvement of Department of Defense personnel, programs and operations to support the Department's mission and serve the public interest. The Department of Defense Inspector General is an independent, objective agency within the U.S. Department of Defense that was created by the Inspector General Act of 1978, as amended. DoD IG is dedicated to serving the warfighter and the taxpayer by conducting audits, investigations, inspections, and assessments that result in improvements to the Department. DoD IG provides guidance and recommendations to the Department of Defense and the Congress.

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6 Results in Brief: Evaluation of DoD Accident Reporting What We Did The DoD Military Injury Prevention Priorities Working Group analyzed a sample of the 1,874,826 injuries recorded in the CY 2004 medical databases. The Working Group reported a large disparity between military medical records for accident-related injuries and Service safety center records for accidents. At the request of the Assistant Deputy Under Secretary of Defense for Environment, Safety, and Occupational Health, we evaluated the DoD injury reporting process for reportable injury-causing accidents involving civilian and military personnel. We also reviewed DoD and Component policies, reporting requirements, and recording systems for injury-causing accidents. What We Found Although a significant part of the large discrepancy between medical databases and safety databases could be attributed to the differences in recording criteria, non-compliance also contributed. Installation and unit safety offices rarely reported accidents below the Class C level. Database discrepancies for in-patient cases were an indication that Component safety offices also may not have captured reports for all Class C and higher accidents. Quantifying the extent of non-compliance would require further analysis of medical database entries and was outside the scope of this evaluation. DoD and Service policies did not incorporate requirements included in memoranda previously issued by the Under Secretary of Defense for Acquisition, Technology, and Logistics. Further, the Assistant Secretary of Defense for Health Affairs had not issued policy concerning the sharing of accident-related medical data with DoD safety offices. As a result, information sharing between safety and medical organizations, concerning injury-causing accidents, was ineffective. What We Recommend This report presents 13 recommendations. The key recommendations are summarized below: The Under Secretary of Defense for Acquisition, Technology, and Logistics should revise DoD Instruction to incorporate changes required by earlier memoranda; eliminate confusion between reportable and recordable as related to accidents; and direct Component safety offices to obtain accident information from medical organizations, worker s compensation programs, and other relevant sources to supplement information reported directly by injured personnel. The Under Secretary of Defense for Acquisition, Technology, and Logistics should also initiate a review of DoD Component execution of injury record keeping requirements by directly comparing the current number of injuries recorded in DoD Component mishap records i

7 to the estimated number of mishap-related injuries recorded in military medical treatment records. The Assistant Secretary of Defense for Health Affairs should clarify Health Insurance Portability and Accountability Act provisions, and direct DoD medical commands to collect accident information during injury treatment and provide relevant data to DoD safety offices. DoD Components should develop procedures for using worker s compensation notifications to supplement accident reporting to safety offices, and establish medical liaison at their respective safety centers to coordinate activities and programs with Service medical communities. Client Comments The Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics and the Office of the Assistant Secretary of Defense for Health Affairs concurred with the applicable recommendations included in this final report. Please refer to Appendix E for related information on revisions to the draft recommendations. The Offices of the responsible Deputy Assistant Secretaries of the Army, the Navy, and the Air Force concurred with the applicable recommendations in the draft report. Recommendations Table Client Under Secretary of Defense for Acquisition, Technology, and Logistics Assistant Secretary of Defense for Health Affairs Deputy Assistant Secretary of the Army for Environment, Safety, and Occupational Health Deputy Assistant Secretary of the Navy for Safety Deputy Assistant Secretary of the Air Force for Environment, Safety, and Occupational Health Total Recommendations in this Report: 13 Recommendations Requiring Comment No Additional Comments Required 1.a, 1.b, 1.c, 1.d, 3 2.a, 2.b 4, 7, 8, 9 5, 7, 8 6, 8 ii

8 Table of Contents Results in Brief: Evaluation of DoD Accident Reporting... i What We Did... i What We Found... i What We Recommend... i Client Comments... ii Recommendations Table... ii Introduction...1 Background... 1 Objective... 3 Scope and Methodology... 3 Use of Computer-Processed Data... 4 Observations...5 Observation 1 Policies and Practices Regarding Collection and Use of Military Medical Treatment Data... 5 Observation 2 Analysis of Accident Reporting Observation 3 Other Military Personnel Issues Observation 4 Civilian Personnel Issues Appendix A. Active Duty Military Fatalities...19 Appendix B. USD(AT&L) Memorandum Safety and Health Recordkeeping...20 Appendix C. USD(AT&L) Memorandum Injury Reporting Requirements...26 Appendix D. Military Department Definitions for Accidents below Class C Threshold...29 Appendix E. Client Comments...30 Appendix F. Report Distribution...38 Appendix G. Acronyms Used in this Report...39 iii

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10 Introduction Preventable accidents in DoD result in an average of over 800 deaths per year 1 and degrade capabilities and readiness. Accidents also generate significant costs. Since 2001, average annual cost of workers compensation claims for the civilian workforce was over $600 million. Accident-related costs for military personnel are not easily identified, but in a December 2001 report, 2 the National Safety Council estimated annual military workplace compensation cost to be approximately $3.2 billion. The Council further estimated overall direct and indirect costs (schedule delays, training and retraining of replacement workers, increased insurance premiums, and added administrative fees) related to preventable accidents to be $12 to $20 billion per year. In addition, the report stated that preventable accidents lower the morale of personnel and result in poorer customer relations. DoD Safety professionals rely on accurate information to reduce preventable accidents and associated costs. This report reviews DoD reporting systems to identify problem areas that prohibit effective reporting of injuries resulting from accidents. Background DoD Directive E, Environment, Safety, and Occupational Health, March 19, 2005, promulgated by the Under Secretary of Defense for Acquisition, Technology, and Logistics [USD(AT&L)] is the overarching policy for the safety, environment, and occupational health programs. The Directive assigns safety program responsibilities to DoD senior officials including the Under Secretary of Defense for Personnel and Readiness [USD(P&R)]: USD(AT&L) provide oversight of safety programs, to include: measuring, auditing, and reporting on performance; validating resource requirements; designating the DoD Designated Agency Safety and Health Official; resolving management disputes between or among DoD Components; maintaining an awards program; and supporting the Defense Safety Oversight Council. USD(P&R) establish objectives, guidance, and procedures across all USD(P&R) organizations to manage safety risks, identify asset requirements, and measure and report performance; participate in asset performance reviews; and chair the Defense Safety Oversight Council. DoD Instruction Accident Investigation, Reporting, and Record Keeping, October 3, 2000, prescribes and enforces regulations directly related to investigation, reporting, and keeping records on accidental death, injury, occupational illness, and property damage. On December 3, 2004, the USD(AT&L) issued a memorandum (Appendix B) changing DoD Instruction to comply with the updated Occupational Safety and Health Administration occupational injury 1 Defense Manpower Data Center data U.S. Active Duty Military Deaths 1980 through 2006, obtained from accessed on March 23, See Appendix A for further discussion. 2 Department of Defense Executive Assessment of Safety and Occupational Health Management Systems, National Safety Council, December 6, 2001, Appendix E (pg.78-80). 1

11 and illness recording and reporting requirements contained in Code of Federal Regulations, Title 29, Part 1960, Subpart 1. 3 On July 19, 2005, USD(P&R), in his capacity as the Chair of the Defense Safety Oversight Council, tasked the Assistant Secretary of Defense for Health Affairs [ASD(HA)] to identify the top 5 causes of non-combat injuries and recommend mitigation initiatives to reduce injuries. To facilitate that effort, on September 1, 2005, the ASD(HA) formed the DoD Military Injury Prevention Priorities (DMIPP) Working Group. Participants included representatives from environment, health, and safety communities in OSD, major DoD Components, and Joint Staff. The goal of the DMIPP Working Group was to outline a systematic, coordinated DoD approach to injury prevention. In February 2006, the DMIPP Working Group published a report analyzing injury data for calendar year The report summarized 1,874,826 accident-related injuries of all types: 1,858,200 ambulatory / outpatient cases, 16,137 injuries requiring hospitalization, and 489 fatalities. In its analysis, the DMIPP Working Group reported a significant disparity between military medical records reflecting the number of accident-related injuries and Service safety center records of accidents (See Figure 1). The DMIPP Working Group attempted to match medical to safety records for the top five types of injuries. The Working Group found that of the 2,273 inpatient cases in medical record databases, only 539 (24 percent) were present in the Service safety center records. For ambulatory / outpatient cases, the matching was 2 percent of total 152,568 medical entries, only 3,016 cases were identified in the safety databases. In-patient cases Out-patient cases TOTAL Army Navy Air Force 24.0% 14.5% 22.7% 52.7% (539 of 2,273) (184 of 1270) (132 of 580) (223 of 423) 2.0% 0.6% 1.5% 4.2% (3,016 of 152,568) (387 of 60,945) (698 of 45,553) (1,931 of 46,070) Figure 1. DMIPP Working Group reported Service Safety-Medical Data Matching Results The DMIPP Working Group report prompted action from the Office of the USD(AT&L). On February 20, 2007, the USD(AT&L) issued a memorandum (Appendix C) replacing the memorandum of December 3, USD(AT&L) directed the Heads of DoD Components to: Establish procedures for the collection, maintenance, analysis, and reporting of injuries and illnesses 3 Code of Federal Regulations, Title 29, Labor, Chapter XVII, Occupational Safety And Health Administration, Department Of Labor, Part 1960, Basic Program Elements For Federal Employee Occupational Safety And Health Programs And Related Matters, Most recent update in

12 Include the use of military medical treatment information and civilian personnel injury information to identify reportable accidents Maintain records of accident investigation reports involving all DoD civilian employees pursuant to Code of Federal Regulations, Title 29, Part Apply civilian personnel reporting procedures to separate, but equivalent logs for military personnel injuries and illnesses In addition, personnel were required to notify their supervisors of all work-related accidents, injuries, and illnesses as soon as possible. On April 24, 2008, the Office of the USD(AT&L) issued Change 1 to DoD Instruction that renumbered the Instruction from to , updated references, and added requirements for mishap analysis and resolution of friendly fire incidents. However, Change 1 did not incorporate the modifications contained in the February 20, 2007, memorandum. Objective The objective of this project was to evaluate the DoD injury reporting process for reportable accidents involving civilian and military injuries. Specifically, we focused on: identifying DoD injury reporting policies evaluating compliance with reporting requirements identifying root causes for under-reporting to safety centers determining impediments to data transfer between medical and safety systems determining the impact of incompatibility of data among DoD Components For this project, the term injury, refers to an injury caused by a reportable accident. Also, the terms Accident Reporting and Accident / Injury Reporting refer to reportable accidents as listed in DoD Instruction , Accident Investigation, Reporting, and Record Keeping, October 3, 2000, as modified by USD(AT&L) Memorandum, Injury Reporting Requirements, February 20, Scope and Methodology We reviewed DoD and Component policies, general compliance with policy, and data systems regarding reporting of injuries resulting from accidents. We reviewed DoD and military Service policies and procedures for reporting accidents resulting in injuries. We also reviewed data systems at the Service Safety Centers, Office of the Secretary of Defense, and the DoD Civilian Personnel Management Service (CPMS) regarding injuries to military and civilian personnel. We concentrated on DoD and military Service processes. Installation visits provided examples of system application. Our review excluded accidents that did not result in injuries and all accidents in areas of ongoing contingency operations. 5 Code of Federal Regulations, Title 29, Labor, Chapter XVII, Occupational Safety And Health Administration, Department Of Labor, Part 1904, Recording And Reporting Occupational Injuries And Illnesses. 3

13 We discussed the status of data transfer from the medical databases to safety databases and injury data management practice with responsible officials from the: Office of the Assistant Secretary of Defense for Health Affairs U.S. Army Center for Health Promotion & Preventive Medicine Armed Forces Health Surveillance Center (a DoD Executive Agency supported by U.S. Army Center for Health Promotion & Preventive Medicine) Office of the Deputy Under Secretary of Defense for Readiness Office of the Deputy Under Secretary of Defense for Business Transformation Office of the Deputy Assistant Secretary of Defense for Environment, Safety, and Occupational Health We interviewed safety personnel in the Offices of the responsible Deputy Assistant Secretaries of the Army, the Navy, and the Air Force. We visited the Army Combat Readiness and Safety Center, the Naval Safety Center, and the Air Force Safety Center to obtain a detailed picture of the accident reporting process and medical / safety cooperation in each Department. We made site visits to one installation from each military department. In addition to interviewing the personnel at each installation safety office and installation medical facility visited, we interviewed personnel from three or more operational units. For each operational unit, we interviewed at least three enlisted personnel, one supervisor, and the unit safety officer. Our interview sample at the installations was not sufficient to allow for generalized conclusions regarding Department-wide implementation and compliance. General conclusions in this report are based on data from Department safety offices and safety centers. Comments concerning the occupational accident and injury reporting process for civilian personnel were derived from interviews with the Chief of the Injury and Unemployment Compensation Division of the CPMS. We also interviewed safety officials at the Defense Logistics Agency and Fort Bragg, North Carolina. At Fort Bragg we also met supervisors of units with large numbers of civilian employees. The Army Audit Agency conducted an audit of the Army accident reporting process concurrent with this review. We coordinated our site visits with the Army Audit Agency to avoid duplication of effort and to reduce impact on the Army installation and safety offices. Cooperation provided us the opportunity to interview safety personnel at the Army National Guard Headquarters, Army Medical Command, and Army Materiel Command. Use of Computer-Processed Data For this project we used summary data provided by DoD organizations and offices including the DMIPP Working Group, Defense Manpower Data Center, and military Department Safety Centers / Safety Offices. We did not verify the reliability of the data provided. While we used the summary data to support our observations, the data sets were not material to our conclusions. 4

14 Observations Observation 1 Policies and Practices Regarding Collection and Use of Military Medical Treatment Data Condition The degree of information sharing between safety and medical organizations for injury-causing accidents varied among the three military departments. Safety organizations throughout DoD were not actively pursuing accident information available from the medical databases. Medical organizations were not providing data to safety professionals. There was no agreement in the safety community about the distinction between the terms reportable accidents and recordable accidents. Cause We identified the following potential causes for the above condition. (a) Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics did not: incorporate all relevant changes mandated by the various preceding memoranda issued since October 3, clarify the requirement to collect and use military medical treatment information (as opposed to just use ). address the confusion created by two very similar terms, reportable accidents and recordable accidents. (b) Safety training provided by the Components did not sufficiently emphasize reporting of all accidents (regardless of duty status and impact) to supervisors. (c) The Assistant Secretary of Defense for Health Affairs did not: issue policy to DoD Components clarifying the fact that the Health Insurance Portability and Accountability Act allows sharing of injury-related medical data with the DoD safety offices. issue any memorandum directing the DoD Component medical organizations to collect accident information during injury treatment and provide the data to corresponding DoD safety offices. Effects Mishap-related injury data, available in the military medical databases, were not being fully utilized by the Component Safety offices to identify unreported mishaps. Therefore, Component Safety Centers had incomplete accident databases. Also, Service members were not aware of the safety policy requirements for reporting all accidents. 5

15 Recommendations Recommendation 1: The Under Secretary of Defense for Acquisition, Technology, and Logistics should revise DoD Instruction , Accident Investigation, Reporting, and Record Keeping: Change 1 of April 24, 2008 to: a. Incorporate all relevant changes required by the Under Secretary of Defense for Acquisition, Technology, and Logistics memoranda issued since October 3, b. Eliminate confusion between the terms reportable accidents and recordable accidents, as well as between accident reporting and accident recording. c. Clarify the requirement to collect and use military medical treatment information (as opposed to just use ) to aid in mishap identification. d. Require DoD Components to provide safety training emphasizing reporting of accidents to supervisors regardless of duty status and impact. Recommendation 2: The Assistant Secretary of Defense for Health Affairs should: a. Issue policy to DoD Components clarifying that Health Insurance Portability and Accountability Act allows sharing of injury-related medical data with DoD safety offices. b. Direct DoD Component medical organizations to collect accident information during injury treatment and provide the information to corresponding DoD safety offices. Detailed Discussion & Analysis Accident Reporting Mechanisms Figure 2 below illustrates the two-mechanism reporting process for military personnel. The event sequence for the traditional or primary mechanism is shown in the top row. The back-up or secondary mechanism, which is available to capture data not reported through the traditional mechanism, is shown in the bottom row. USD(AT&L) memorandum of February 20, 2007, required safety offices to access and utilize this secondary mechanism. The illustration also highlights the steps where accident records can be lost. 6

16 Figure 2. Military Personnel Accident-Related Injury Reporting Process Safety Community Office of the Secretary of Defense The USD(AT&L) memorandum of February 20, 2007, directed the Heads of DoD Components to use military medical treatment information and civilian personnel injury information in order to identify [reportable] accidents. However, the Office of the USD(AT&L) did not incorporate that requirement into the subsequent Change 1 of DoD Instruction , issued on April 24, Component safety offices did not develop comprehensive procedures to obtain relevant military medical treatment information from treatment facilities or other medical sources. Safety offices were limited to military medical treatment information provided to them directly by injured personnel. Existing DoD policy was insufficient to cause appropriate Component action. Military Departments Service members, interviewed at the three installations we visited, were not aware of the safety policy requirements for reporting all accidents. During the interviews and in written responses, military personnel at installations stated that they report accidents and occupational injuries to their immediate supervisor only if they miss any work. Some supervisors whom we interviewed demonstrated limited knowledge of safety policies and were not aware of the purpose of reporting minor accidents: identification of cumulative impact, analysis of trends, and development of preventive steps. Supervisors and unit safety officers were not trained to request information about unreported accidents from Service members. Representatives of the Office of the USD(AT&L) explained that the intent of the memorandum of February 20, 2007, was for medical information to supplement existing accident reporting and contribute to safety risk assessments. None of the military departments were meeting the full intent of revised DoD Instruction included in the USD(AT&L) memorandum of February 20, In fact, most installation safety personnel indicated that they were unaware of the USD(AT&L) memorandum of February 20, As of January 2010, the military 7

17 departments had adopted different approaches to meet the requirement to use military medical treatment information. Army Army Regulation , The Army Safety Program, August 23, 2007, did not require installation safety offices or unit safety offices to collect military medical information from medical treatment facilities or unit medical stations. The Army safety office indicated that it was common practice for installation and/or unit safety offices to collect military injury information from installation medical treatment facilities. Our observations at the Fort Bragg medical facility and the installation safety office did not support this assertion. According to a brigade safety officer in the 82nd Airborne Division, his unit did not have any procedures to collect or to receive any accident data from the brigade medical office or installation medical treatment facility. In September 2007, the Army developed a data use agreement between the Patient Administration Systems and Biostatistics Activity and the U.S. Army Combat Readiness / Safety Center. Service-wide accident related injury data now can be transferred to the Service safety center electronically. The Army Combat Readiness and Safety Center reported that as of March 2010, they received two data sets from the Patient Administration Systems and Biostatistics Activity. However, we did not receive any information concerning the use of these data or any plan for future data transfer. Navy As of January 2010, Navy safety policies (Navy Instruction D and Marine Corps Order P5102.1D, Mishap and Safety Investigation, Reporting, And Record Keeping Manual, January 7, 2005) did not require on-shore installation and unit safety offices to collect or receive military medical information from installation medical facilities. During a site visit to Norfolk Naval Station, ship safety officers stated they had a good working relationship with ship medical officers and shared accident-related injury data. However, on-shore installation and unit safety officers had a lesser degree of cooperation and sharing with on-shore medical facilities. Air Force Air Force Instruction , Safety Investigations and Reports, September 24, 2008, required installation-level safety offices to obtain accident information from installation medical facilities. Medical community at the Andrews AFB also had procedures for collecting accident information from patients in the emergency room and providing the information to the installation safety office. Air Force policies and procedures came closest to meeting the requirements of the February 20, 2007, USD(AT&L) memorandum. However, we saw no arrangement for the transfer of accident information from in-hospital stays or clinic visits. Air Force Safety Center personnel indicated that all installations were supposed to have the same procedures. However, they had not verified that all installations had developed a similar process for emergency room visits. 8

18 Service Safety Centers Personnel at the Service Safety Centers indicated that they were aware of the February 20, 2007, USD(AT&L) memorandum. However, it appears that they did not understand the changes directed by the memorandum. They believed that the memorandum contents were a repetition of the December 2004 USD(AT&L) memorandum, which required them to revise policies to comply with the Occupational Safety and Health Administration s reporting requirements contained in Code of Federal Regulations, Title 29, Part Medical Community The ASD(HA) is the principal advisor to the USD(P&R) for all DoD health policies, programs, and force health protection activities. As of January 2010, ASD(HA) had not issued policy concerning the sharing of accident-related medical injury data with DoD safety offices at bases and installations. DoD R, Health Information Privacy Regulation, January 24, 2003, prescribes the uses and disclosures of protected health information. While it allows disclosure of health information for workers compensation and the release of data to several entities with varying degrees of sanitization, the policy contains no explicit statement concerning sharing of data with DoD safety offices at the installation level. This contributed to differing interpretations of privacy law and hindered systematic sharing of accident-related data with safety offices. We observed that the Andrews Air Force Base medical group was sharing information from the medical treatment facility emergency room with the installation safety office. This cooperation was the result of policy published by the Air Force Air Mobility Command. The Air Forcespecific program was generated prior to the requirement in the USD(AT&L) memorandum of February 20, We found no similar program within the Army or the Navy. Army and Navy installation safety officers indicated that their medical counterparts were reluctant to share information and cited concerns about potential violation of Health Insurance Portability and Accountability Act provisions. Representatives from the Army and the Navy installation medical facilities stated that the Office of the ASD(HA) had not made data sharing between medical and safety a requirement. Medical organization representatives also stated that they were unaware of the need to share military medical treatment information with the safety community. This demonstrates a failure to effectively communicate among functional areas and the military Services. 9

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20 Observation 2 Analysis of Accident Reporting Condition As of the date of this report, the DoD does not have an accurate measure of the degree of noncompliance in accident reporting. Although the DMIPP Working Group report indicated a high degree of discrepancy between the medical databases and the Service safety databases, it also indicated that underreporting (non-compliance in reporting) is not the only cause for the discrepancy. Other factors include differences in threshold reporting requirements and poor data quality. Cause The DMIPP Working Group compared all injuries in the medical databases to the entries in the Service safety databases for matching, including injuries from: action of a hostile force, intentionally self-damaging acts, attack or assault, pre-existing musculoskeletal disorders, minimum stress and strain, escaping or eluding custody or arrest, and the illegal use of drugs or other substances. However, these injuries are not reportable as per DoD Instruction In addition, medical databases include injuries that are below Class C and occur during off-duty hours. DoD Instruction of February 20, 2007, did not provide clear directions regarding accidents below Class C. As shown in Appendix D, Army and Air Force safety policy developed definitions for Class D accidents. Injuries included in Class D are less severe than the injuries included in Class C, but more severe than injuries requiring first aid only. Effects DoD and the Components are unable to evaluate their performance in the area of accident reporting. The impacts of policy changes on completeness of accident reporting cannot be verified. Recommendation Recommendation 3: The Under Secretary of Defense for Acquisition, Technology, and Logistics should initiate a review of DoD Component execution of injury record keeping requirements by directly comparing the current number of injuries recorded in DoD Component mishap records to the estimated number of mishap-related injuries recorded in military medical treatment records. 11

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22 Observation 3 Other Military Personnel Issues All Military Departments Officials from the Office of the USD(AT&L) requested that we determine if there was any evidence that Service personnel are instructed to minimize reporting accidents that may make the unit look bad. We included a question in the questionnaire regarding this item. During interviews, we asked the questions to more than 30 Service members and included the query in a questionnaire. Personnel of various ranks indicated that the opposite was true they were told by commanders to report all accidents. We found no indication of pressure from unit commanders to skip accident reporting. Army Condition During our visit to Fort Bragg, the installation safety office informed us that the unit safety officers do not always notify the installation safety office when reporting accidents to the Army Combat Readiness / Safety Center through the Automated Reporting Accident System. Army Combat Readiness / Safety Center representatives later verified that this was an Army-wide issue, not unique to Fort Bragg. Many Army installation safety offices receive incomplete notifications about accidents on their installations. Cause In most cases, installation safety officers were part of the Army Installation Management Command, and not in the chain of command between units and the Combat Readiness / Safety Center. In addition, in the Automated Reporting Accident System for reporting Army mishaps, it was optional for the unit safety officers to notify the installation safety office. Effects Army installation safety officers had an incomplete picture of mishaps on their installations and they were unable to take all the necessary actions to prevent mishap recurrence. Recommendation Recommendation 4: The Deputy Assistant Secretary of the Army for Environment, Safety, and Occupational Health should modify the Automated Reporting Accident System to include automatic notification to the relevant installation safety office for on-base accidents at any Army installation. 13

23 Navy Condition Although Navy policy required ship and shore elements to use the Web Enabled Safety System for accident reporting, its implementation was inconsistent and incomplete. Cause Many commands and vessels reported mishaps and injuries using legacy reporting systems. Transfer of data between the systems was not automatic, creating the potential for data loss. In addition, shipboard personnel indicated that using the Web Enabled Safety System for accident reporting was difficult during deployment because of limited available bandwidth. A senior DoD official (former navy submarine officer) stated that it could also be a case of not assigning a high enough priority to accident reporting. Effects As a result of incomplete fielding of the accident reporting system, the Naval Safety Center was not receiving all of the accident reports. Also, many accident reports came in late. Recommendation Recommendation 5: The Deputy Assistant Secretary of the Navy for Safety should expedite completion of fielding of the Web-Enabled Safety System throughout all commands and vessels, replacing the legacy reporting systems. Air Force Condition At Andrews Air Force Base, we observed that while the installation and Major Command safety officers had access to the Air Force Safety Automated System, the unit safety officers had to manually complete accident reporting forms and fax them to their installation safety officer for entry into the automated system. The installation safety officer then manually entered the data into the Air Force Safety Automated System (after checking for reporting criteria). Discussions with Air Force Safety Center representatives confirmed that the procedure was Air Force-wide. Cause The Air Force is concerned about providing unit safety officers with access to the Air Force Safety Automated System because many of the unit safety officers are not full-time safety personnel. 14

24 Effects The installation safety office is overwhelmed with the additional task of manually entering all of the accident reports into the Air Force Safety Automated System. There is a lag between the time when the unit safety officer reports the mishap and when the data appear in the Air Force Safety Automated System. The existing process is inefficient. Recommendation Recommendation 6: The Deputy Assistant Secretary of the Air Force for Environment, Safety, and Occupational Health should modify the Air Force Safety Automated System to allow unit safety offices to enter accident reports into the system. Service Safety Centers Condition The Army Combat Readiness and Safety Center and Naval Safety Center did not have a dedicated medical liaison to coordinate policy development and implementation with the medical community. Cause The Army and the Navy were unaware of the need for a designated medical liaison at their safety centers. The Navy was also limited by budgetary constraints. Effects The Army and the Navy did not receive routine accident data from their military medical facilities, while the Air Force has been receiving a daily set of accident records from the emergency rooms. Recommendation Recommendation 7: The Deputy Assistant Secretary of the Army for Environment, Safety, and Occupational Health and the Deputy Assistant Secretary of the Navy for Safety should establish medical liaisons at their respective safety centers to coordinate activities and programs with Service medical communities. 15

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26 Observation 4 Civilian Personnel Issues Military Departments Condition According to DoD Civilian Personnel Management Service (CPMS), approximately 12 percent of the 22,000 Safety First Event Reporting notifications sent each year did not reach the intended recipient designated points of contact in the unit safety offices. Figure 3 below shows the two-mechanism accident reporting process required for DoD civilians. The back-up mechanism (shown in the bottom row of the flowchart), as required by USD(AT&L) memorandum of February 20, 2007, utilizes Safety First Event Reporting notifications to identify missed accident reports. Figure 3. Civilian Personnel Accident-Related Injury Reporting Process Cause According to CPMS, the primary cause was invalid addresses resulting from personnel turn over at the safety offices. In addition, the Navy and the Air Force did not set up comprehensive procedures for the use of Safety First Event Reporting notifications. Moreover, not all Army installation safety offices used this reporting system. Effects As a result of non-receipt of notifications by the unit safety offices, at least 2,600 accident reports did not enter the back-up mechanism for data capture. This increased the potential for additional data loss but, more importantly, presented incomplete visibility to concerned organizations and leaders. 17

27 Recommendation Recommendation 8: The Deputy Assistant Secretary of the Army for Environment, Safety, and Occupational Health; Deputy Assistant Secretary of the Navy for Safety; and Deputy Assistant Secretary of the Air Force for Environment, Safety, and Occupational Health should develop common procedures for using Safety First Event Reporting notifications to enhance completeness of DoD accident reporting. This should include maintaining accurate contact information for the installation and unit safety offices at the Civilian Personnel Management Service. Army Reporting System for Injuries involving Civilians Condition We observed that at Fort Bragg, the installation safety office used the Army Safety Performance Improvement and Reporting system, a legacy system not connected to the Army Combat Readiness and Safety Center. The Army Safety Office representative identified three Army installations still using the Army Safety Performance Improvement and Reporting system, although Army policy required the use of the Automated Reporting Accident System. In December 2009, the Fort Bragg safety office notified us that Fort Bragg had discontinued the use of the Army Safety Performance Improvement and Reporting system. Cause As per the Army Safety Office, three Army installations were using the legacy system (Army Safety Performance Improvement and Reporting system) because their safety offices were unaware of the mandatory requirement to use the Automated Reporting Accident System for civilian personnel. Effects Accident databases at the Army Combat Readiness / Safety Center were missing accident reports for civilian personnel from these three Army installations and understating the incidence of accidents. Recommendation Recommendation 9: The Deputy Assistant Secretary of the Army for Environment, Safety, and Occupational Health should direct all Army installations to ensure that installation safety offices are using the Army Automated Reporting Accident System for reporting all injuries - including injuries involving civilians. 18

28 Appendix A. Active Duty Military Fatalities The Defense Manpower Data Center provided a summary of all U.S. active duty military deaths from 1980 through The table below shows that over the 28-year period, a total of 23,558 deaths were caused by accidents, representing over half of the total deaths from all causes. Perhaps of even greater significance, from 2002 to 2007, a period of combat operations, active duty fatalities from preventable accidents (3,476) were as high as fatalities from all hostile actions (3,451). Calendar Year U.S. ACTIVE DUTY MILITARY DEATHS through 2007 (as of April 22, 2008) Total Military FTE* Total Deaths Deaths by Hostile Action Deaths Caused by Accidents Cause Assignment Pending Accidentrelated Deaths per 100K FTE Accident Deaths as % of Total Deaths ,159,630 2, , % ,206,751 2,380 1, % ,251,067 2, , % ,273,364 2, , % ,297,922 1, , % ,323,185 2, , % ,359,855 1, , % ,352,697 1, , % ,309,495 1, , % ,303,384 1, , % ,258,324 1, % ,198,189 1, % ,953,337 1, % ,849,537 1, % ,746,482 1, % ,661,928 1, % ,613, % ,578, % ,538, % ,525, % ,530, % ,552, % ,627, % ,732,632 1, % ,711,916 1, % ,664,014 1, % ,611,533 1, % ,608,226 1, % Total 53,799,705 44,265 4,111 23, % Per Year 1,921,418 1, % * Official Department of Defense end-strengths as of December 31 for military pay accounts. Excludes full time Guard and Reserve. Full time equivalent (FTE) is based on official Department of Defense fiscal year end selected reserve strength (10% of the figure is used to estimate days on Active Duty). Prepared by the Data, Analysis, and Programs Division of the Defense Manpower Data Center. 19

29 Appendix B. USD(AT&L) Memorandum Safety and Health Recordkeeping 20

30 21

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33 othclals listed Ln this paragraph are mtended to be the equivalent of the private sector officials who are required to certify records under (b)(4) Prohibition against discrimination. Title 29 CFR refers to Section I I (e) oc the Occupational Safety and Health Act. For Federal agencies, the words ;'Section 11(c)" shall be read as "Executive Onler Section 1-201(Q." Note to : This modification is necessary hecause Section ll(c) of the OccupationAl <;nfrty l'inn H<"'illth Art ('\1111' :l p rl; " In private <;;ectnr employers and the I LS. Postal Service. The cottespollding prohibitions against discrimination applicab le to Federal employers arc contained in Section (0 of Executive Order 12196, Ti-all iiioll fl-om former I-Ule and n tel1tioo add updating of old forms. (a) Between October 1,2004 and January , agencies must continue to record and track their occupational injuries and illnesses. During that period, Federal agencies may choose to c_omply With the requirements orthe old Part 1960, Subpart I, or they may choose tn comply with the requirements or 29 efr (b) Federal agencies must retain copies of the recordkeeping records utilized under the old system for five years following the year to which they relate and continue to provide access to the data as though these foruls were the OSHA Fonn 300 Log and Form 301 Incident Report. Agencies are not required to update the old fomls Reporting of serious accidents. Agencies must pro,, de the Office of Federal Agency Programs with a summary report of each t ital and catastrophic accident investigation. The summaries shall address the date/time or <lccident, agency/establishment narnej and location, and_ coliseljuences, description or operation 4 24

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35 Appendix C. USD(AT&L) Memorandum Injury Reporting Requirements 26

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38 Appendix D. Military Department Definitions for Accidents below Class C Threshold The military Departments developed procedures for reporting Class C and higher category accidents through central databases located at their Safety Centers. Army and Air Force safety policies developed definitions for accidents below the Class C threshold, calling them Class D accidents. We found that safety professionals generally consider Class D accidents as less severe than Class C, but more severe than injuries requiring first aid only. Army Regulation , The Army Safety Program, August 23, 2007, establishes Army policy and defines Class D accidents as an Army accident in which the resulting total cost of property damage is $2,000 or more, but less than $20,000; a nonfatal injury or illness resulting in restricted work, transfer to another job, medical treatment greater than first aid, needle stick injuries and cuts from sharps that are contaminated from another person s blood or other potentially infectious material, medical removal under medical surveillance requirements of an OSHA standard, occupational hearing loss, or a work related tuberculosis case. OPNAVINST D, Navy & Marine Corps Mishap and Safety Investigation, Reporting, And Record Keeping Manual, of January 7, 2005, establishes Navy and U.S. Marine Corps safety policy but does not define accidents below the Class C threshold. Air Force Instruction , Safety Investigations and Reports, September 24, 2008, establishes Air Force policy and defines Class D accidents as Any nonfatal injury or occupational illness that does not meet the definition of Lost Time. These are cases where, because of injury or occupational illness, the employee only works partial days, has restricted duties or was transferred to another job, required medical treatment greater than first aid, or experienced loss of consciousness (does not include GLOC) [G-force induced loss of consciousness]. In addition, a significant injury (e.g. fractured/cracked bone, punctured eardrum) or occupational illness (e.g. occupational cancer (mesothelioma), chronic irreversible disease (beryllium disease)) diagnosed by a physician or other licensed health care professional must be reported even if it does not result in death, days away from work, restricted work, job transfer, medical treatment greater than first aid, or loss of consciousness. 29

39 Appendix E. Client Comments Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics The response from the Office of the USD(AT&L) to our draft report follows (see pages 33 to 35). Management non-concurred with four recommendations in the draft report: 1.c, 1.d, 3.a, and 3.b. We discussed the concerns with management officials and we agreed to: Revise recommendation 1.c Delete recommendation 1.d and renumber original 1.e as 1.d Revise recommendations 3.a and 3.b and combine them into a single recommendation (#3) This final report includes revised language, and the Office of the USD(AT&L) concurred with the revised recommendations. Office of the Assistant Secretary of Defense for Health Affairs The response from the Office of the ASD(HA) to our draft report follows (see pages 36 to 39). Management non-concurred with two recommendations - 3.a and 3.b. After discussions and negotiations with applicable offices, we revised the recommendations 3.a and 3.b into a single recommendation (#3) directed only at the Office of the USD(AT&L). The Office of the ASD(HA) is not responsible for implementing this revised recommendation #3. Management s non-concurrence is no longer an issue. Military Department Offices of Primary Responsibility The Offices of the Deputy Assistant Secretary of the Army for Environment, Safety, and Occupational Health; the Deputy Assistant Secretary of the Navy for Safety; and the Deputy Assistant Secretary of the Air Force for Environment, Safety, and Occupational Health concurred with the original recommendations. Their comments are available on request. 30

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47 Appendix F. Report Distribution Office of the Secretary of Defense Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics* Office of the Under Secretary of Defense for Personnel and Readiness Office of the Assistant Secretary of Defense for Health Affairs* Department of the Army Inspector General, Department of the Army Office of the Deputy Assistant Secretary for Environment, Safety, and Occupational Health* Department of the Navy Naval Inspector General Deputy Naval Inspector General for Marine Corps Matters Office of the Deputy Assistant Secretary for Safety* Department of the Air Force Inspector General, Department of the Air Force Office of the Deputy Assistant Secretary for Environment, Safety, and Occupational Health* Congressional Committees Senate Subcommittee on Defense, Committee on Appropriations Senate Committee on Armed Services Senate Committee on Homeland Security and Governmental Affairs House Subcommittee on Defense, Committee on Appropriations House Committee on Armed Services House Committee on Oversight and Government Reform * Recipients of the draft report 38

48 Appendix G. Acronyms Used in this Report CPMS DMIPP ASD(HA) USD(AT&L) USD(P&R) Civilian Personnel Management Service DoD Military Injury Prevention Priorities (Working Group) Assistant Secretary of Defense for Health Affairs Under Secretary of Defense for Acquisition, Technology, and Logistics Under Secretary of Defense for Personnel & Readiness 39

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50 Special Plans & Operations Provide assessment oversight that addresses priority national security objectives to facilitate informed, timely decision-making by senior leaders of the DOD and the U.S. Congress. General Information Forward questions or comments concerning this assessment and report and other activities conducted by the Office of Special Plans & Operations to Deputy Inspector General for Special Plans & Operations Department of Defense Inspector General 400 Army Navy Drive Arlington, VA Visit us at DEPARTMENT OF DEFENSE hot line make a difference Report Defense Hotline,The Pentagon, Washington, DC Fraud, Waste, Mismanagement, Abuse of Authority Suspected Threats to Homeland Security Unauthorized Disclosures of Classified Information

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